The continuing education program consists of two parts:
a compliance course, which is training covering ethical issues, regulatory developments and rules governing investment dealer conduct, and
a professional development course, which is training that fosters learning and development in areas relevant to investment dealer business.
- The continuing education program operates in two year cycles. The first two year cycle will commence on January 1, 2018. The beginning and end of each continuing education program cycle is the same for all continuing education participants.
- A Dealer Member or external course provider may provide a continuing education course.
- A Dealer Member or external course provider may submit continuing education courses for accreditation through IIROC’s accreditation process.
- A continuing education participant is exempt from professional development course requirement if he or she:
- is approved in the category of Registered Representative or Supervisor, and
- has been continuously approved in a trading capacity since January 1, 1990 or earlier by IIROC, the Toronto Stock Exchange, the Montreal Exchange, or the TSX Venture Exchange including any of its predecessors.